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Document 32015R2282
Commission Regulation (EU) 2015/2282 of 27 November 2015 amending Regulation (EC) No 794/2004 as regards the notification forms and information sheets (Text with EEA relevance)
Commission Regulation (EU) 2015/2282 of 27 November 2015 amending Regulation (EC) No 794/2004 as regards the notification forms and information sheets (Text with EEA relevance)
Commission Regulation (EU) 2015/2282 of 27 November 2015 amending Regulation (EC) No 794/2004 as regards the notification forms and information sheets (Text with EEA relevance)
OJ L 325, 10.12.2015, p. 1–180
(BG, ES, CS, DA, DE, ET, EL, EN, FR, HR, IT, LV, LT, HU, MT, NL, PL, PT, RO, SK, SL, FI, SV)
In force
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10.12.2015 |
EN |
Official Journal of the European Union |
L 325/1 |
COMMISSION REGULATION (EU) 2015/2282
of 27 November 2015
amending Regulation (EC) No 794/2004 as regards the notification forms and information sheets
(Text with EEA relevance)
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Council Regulation (EU) 2015/1589 of 13 July 2015 laying down detailed rules for the application of Article 108 of the Treaty on the Functioning of the European Union (1), and in particular Article 33 thereof,
After consulting the Advisory Committee on State aid,
Whereas:
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(1) |
The State aid modernisation initiative has focused on the identification of common principles for the assessment of the compatibility of all aid measures by the Commission. In that regard, the Commission considers an aid measure compatible with the Treaty only if it satisfies the criteria of contributing to a well-defined objective of common interest; the need for State intervention; appropriateness; incentive effect; proportionality; and avoidance of undue negative effects on competition and trade between Member States. The State aid guidelines have been revised and streamlined to reflect those common assessment principles. The State aid notification forms and information sheets contained in Commission Regulation (EC) No 794/2004 (2) should therefore be adapted to ensure that the Commission receives all the information necessary for it to carry out its assessment under the modernised State aid rules. |
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(2) |
Aid measures should also comply with the transparency criteria set out in the Transparency Communication (3), which aim to promote compliance, reduce uncertainty and enable companies to check whether aid granted to competitors is legal. Transparency also facilitates enforcement for national and regional authorities by increasing awareness of aid granted at various levels, thus ensuring better monitoring and follow-up at national and local level. For that purpose, the notifying Member States should provide relevant information concerning the publication of information on the aid measures. |
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(3) |
In view of the potential impact on trade and competition of aid schemes with large aid budgets, or which have novel characteristics or involve significant market, technological or regulatory changes, Member States should carry out an evaluation of such schemes. In order to enable the Commission to assess the evaluation plan, Member States should submit to the Commission a draft evaluation plan at the same time as they notify the Commission of the aid scheme concerned. To that end, a new form for the evaluation plan, to be used by Member States, should be added to Regulation (EC) No 794/2004. |
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(4) |
Regulation (EC) No 794/2004 should therefore be amended accordingly, |
HAS ADOPTED THIS REGULATION:
Article 1
Regulation (EC) No 794/2004 is amended as follows:
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(1) |
the title is replaced by the following: ‘Commission Regulation (EC) No 794/2004 of 21 April 2004 implementing Council Regulation (EU) 2015/1589 laying down detailed rules for the application of Article 108 of the Treaty on the Functioning of the European Union’; |
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(2) |
Annex I is amended in accordance with Annex I to this Regulation; |
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(3) |
Annexes III A and III B are replaced by the text in Annex II to this Regulation. |
Article 2
This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Brussels, 27 November 2015.
For the Commission
The President
Jean-Claude JUNCKER
(1) OJ L 248, 24.9.2015, p. 9.
(2) Commission Regulation (EC) No 794/2004 of 21 April 2004 implementing Council Regulation (EC) No 659/1999 laying down detailed rules for the application of Article 93 of the EC Treaty (OJ L 140, 30.4.2004, p. 1).
(3) Communication from the Commission amending the Communications from the Commission on EU Guidelines for the application of State aid rules in relation to the rapid deployment of broadband networks, on Guidelines on regional State aid for 2014–2020, on State aid for films and other audiovisual works, on Guidelines on State aid to promote risk finance investments, and on Guidelines on State aid to airports and airlines (OJ C 198, 27.6.2014, p. 30).
ANNEX I
Annex I is amended as follows:
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(1) |
Part I is replaced by the following: ‘PART I. GENERAL INFORMATION 1. Status of the notification Does the information transmitted on this form concern:
2. Identification of the aid grantor Member State concerned: … Region(s) of the Member State concerned (at NUTS level 2); include information on their regional aid status: … Contact person(s):
Please indicate the name, the address (including web address) and the e-mail contact of the granting authority:
Contact person at the Permanent Representation
If you would like a copy of the official correspondence sent by the Commission to the Member State to be forwarded to other national authorities, please indicate here their name, address (including their web address) and e-mail contact:
3. Beneficiaries 3.1. Location of the beneficiary(ies)
3.2. If applicable, location of the project(s)
3.3. Sector(s) affected by the aid measure (i.e. in which the aid beneficiaries are active):
3.4. In the case of an aid scheme, please specify: 3.4.1. Type of beneficiaries:
3.4.2. Estimated number of beneficiaries:
3.5. In the case of individual aid, either granted within the scope of a scheme or as ad hoc aid, please specify: 3.5.1. Name of the beneficiary(ies): … 3.5.2. Type of beneficiary(ies): …
Number of employees:… Annual turnover (full amount in national currency, in the last financial year): … Annual balance-sheet total (full amount in national currency, in the last financial year): … Existence of linked enterprise or partner enterprises (please attach a declaration according to Article 3(5) of the Commission Recommendation on SMEs (3) attesting to either the autonomous, linked or partner status of the beneficiary undertaking (4)): …
3.6. Is the beneficiary(ies) an undertaking in difficulty (5)?
3.7. Outstanding recovery orders 3.7.1. In the case of individual aid: The authorities of the Member State commit to suspend the award and/or payment of the notified aid if the beneficiary still has at its disposal earlier unlawful aid that was declared incompatible by a Commission Decision (either as individual aid or aid under an aid scheme being declared incompatible), until that beneficiary has reimbursed or paid into a blocked account the total amount of unlawful and incompatible aid and the corresponding recovery interest.
Please provide the reference to the national legal basis concerning this point: … 3.7.2. In the case of aid schemes: The authorities of the Member State commit to suspend the award and/or payment of any aid under the notified aid scheme to any undertaking that has benefited from earlier unlawful aid declared incompatible by a Commission Decision (either as an individual aid or an aid under an aid scheme being declared incompatible), until that undertaking has reimbursed or paid into a blocked account the total amount of unlawful and incompatible aid and the corresponding recovery interest.
Please provide the reference to the national legal basis concerning this point: … 4. National Legal Basis 4.1. Please provide the national legal basis of the aid measure including the implementing provisions and their respective sources: National legal basis:… … Implementing provisions (where applicable): … … References (where applicable): … 4.2. Please enclose with this notification one of the following:
4.3. In case of a final text, does the final text contain a stand-still clause whereby the aid granting body can only grant the aid after the Commission has authorised the aid?
4.4. Where the text of the legal basis contains a stand-still clause, please indicate whether the date of granting of the aid will be:
5. Identification of the Aid, Objective and Duration 5.1. Title of the aid measure (or name of the beneficiary of the individual aid) … 5.2. Brief description of the objective of the aid … 5.3. Does the measure concern the national co-financing of an European Fund for Strategic investment (EFSI) (6) project?
5.4. Type of aid 5.4.1. Does the notification relate to an aid scheme?
5.4.2. Does the notification relate to individual aid (8)?
5.4.3. Does the system of financing form an integral part of the aid measure (for example, by applying parafiscal levies in order to raise the necessary funds to allow for the aid to be granted)?
5.5. Duration ☐ Scheme Indicate the planned last date until which individual aid may be granted under the scheme. If the duration exceeds 6 years please indicate why a longer period is indispensable to achieve the objectives of the aid scheme. … ☐ Individual aid Indicate the planned date when the aid will be granted (9):… If the aid will be paid out in instalments, indicate the planned date(s) of each instalment… 6. Compatibility of the aid Common assessment principles (Sub-sections 6.2 to 6.7 do not apply to aid to the agriculture, fishery and aquaculture sectors (10) ) 6.1. Please indicate the primary objective and, where applicable, the secondary objective(s), of common interest to which the aid contributes:
6.2. Please explain the need for State intervention. Please note that the aid must be targeted towards a situation where it can bring about a material improvement which cannot be delivered by the market itself, by remedying a well-defined market failure. … … 6.3. Please indicate why the aid is an appropriate instrument to address the objective of common interest as defined in point 6.1. Please note that the aid will not be considered compatible if less distortive measures make it possible to achieve the same positive contribution. … … 6.4. Please indicate whether the aid has an incentive effect (that is, when the aid changes the behaviour of an undertaking leading it to engage in additional activity which it would not have engaged in without the aid or would only have engaged in such activity in a restricted or different manner).
Please indicate whether activities which started before the submission of an application for aid are eligible.
If they are eligible, please explain how the incentive effect requirement is complied with. … … 6.5. Please indicate why the aid granted is proportionate insofar as it amounts to the minimum needed to induce investment or activity. … … 6.6. Please indicate the possible negative effects of the aid on competition and trade and specify the extent to which they are outweighed by the positive effects. … … 6.7. In accordance with the Transparency Communication (12), please indicate whether the following information will be published on a single national or regional website: the full text of the approved aid scheme or the individual aid granting decision and its implementing provisions, or a link to it; the identity of the granting authority/(ies); the identity of the individual beneficiary(ies), the aid instrument (13) and amount of aid granted to each beneficiary(ies); the objective of the aid, the date of granting, the type of undertaking (for example SME, large company); the Commission's aid measure reference number; the region where the beneficiary is located (at NUTS level 2) and the principal economic sector of the beneficiary(ies) (at NACE group level) (14).
6.7.1. Please provide the address(es) of the website(s) on which the information will be made available: … … 6.7.2. If applicable, please provide the address(es) of the central website retrieving information from the regional website(s): … … 6.7.3. If the address(es) of the website referred to in point 6.7.2 are not known at the time of the submission of the notification, the Member State must undertake to inform the Commission once those websites are created and the addresses are known. 7. Aid instrument, Aid amount, Aid intensity and Means of funding 7.1. Aid instrument and aid amount Specify the form of the aid and the aid amount (15) made available to the beneficiary(ies) (where appropriate, for each measure):
For guarantees, please indicate the maximum amount of loans guaranteed:… For loans, please indicate the maximum (nominal) amount of the loan granted:… 7.2. Description of the aid instrument For each aid instrument chosen from the list in point 7.1, please describe the conditions of application of the aid (such as the tax treatment, whether the aid is awarded automatically based on certain objective criteria or whether there is an element of discretion by the awarding authorities): … … 7.3. Source of funding 7.3.1. Specify the financing of the aid:
7.3.2. Is the budget adopted annually?
7.3.3. If the notification concerns changes to an existing scheme, please indicate the budgetary effects for each of the aid instruments of the notified changes to the scheme on the: Overall budget… Annual budget (17)… 7.4. Cumulation Can the aid be cumulated with aid or de minimis aid (18) received from other local, regional or national aid (19) to cover the same eligible costs?
… … Please explain the mechanisms put in place in order to insure that the cumulation rules are respected: … …
8. Evaluation 8.1. Is the scheme considered for evaluation (20)?
If the scheme is not considered for evaluation, please explain why you consider the criteria for evaluation not to be fulfilled. …
According to which criteria is the scheme considered for ex post evaluation:
If any of the criteria referred to in this point are fulfilled, please indicate the period of evaluation and complete the supplementary information sheet for the notification of an evaluation plan in Annex 1, Part III.8 (21). … 8.2. Please indicate whether any ex-post evaluation has already been carried out for a similar scheme (where relevant, with a reference and a link to any relevant websites) … 9. Reporting and Monitoring In order to enable the Commission to monitor the aid scheme and individual aid, the notifying Member State undertakes to:
For fiscal aid schemes:
10. Confidentiality Does the notification contain confidential information (23) which should not be disclosed to third parties?
…
11. Other Information Where applicable, please indicate any other information relevant for the assessment of the aid. … … 12. Attachments Please list all documents which are attached to the notification and provide paper copies or internet addresses which allow access to the documents concerned. … … 13. Declaration I certify that to the best of my knowledge the information provided on this form, annexes and attachments is accurate and complete. Date and place of signature… Signature:… Name and position of person signing… 14. Supplementary Information Sheet 14.1. Based on the information submitted in the general information form, please select the applicable supplementary information sheet to be completed:
14.2. For aid which is not covered by any supplementary information sheet, please select the relevant provision of the TFEU, guideline or another text applicable to State aid:
Please provide a justification for the compatibility of the aid falling in the categories selected in this point: … … For practical reasons, it is recommended to number the documents provided as annexes and to refer to those document numbers in the relevant sections of the supplementary information sheets.’ |
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(2) |
Parts III.1, III.2, III.3, III.4, III.5, III.6, III.7, III.8, III.9, III.10 and III.11 are replaced by the following: ‘PART III SUPPLEMENTARY INFORMATION SHEETS PART III.1.A Supplementary Information Sheet on individual regional investment aid This supplementary information sheet must be used for the notification of any individual investment aid covered by the Guidelines on regional State aid 2014-2020 (29) (the “RAG”). Where several beneficiaries are involved in an individual aid measure, the relevant information must be provided for each of them. 1. Scope 1.1. Reasons for notifying the measure:
1.2. Scope of the notified aid measure 1.2.1. Please confirm that the beneficiary is not an undertaking in difficulty (31) … 1.2.2. If the measure covers investment aid to broadband networks, please explain how the aid granting authority will ensure that the following conditions are complied with and provide the reference to the relevant provisions in the legal basis and/or supporting documents:
… 1.2.3. If the measure covers aid to research infrastructures (33), please confirm that the aid is conditional on giving transparent and non-discriminatory access to this infrastructure and provide supporting documents to that effect and/or provide reference(s) to the relevant parts of the legal basis (paragraph 13 RAG). … 1.2.4. Please provide a copy of the application form and the (draft) aid granting agreement. 2. Additional information on the beneficiary, investment project and aid 2.1. Beneficiary 2.1.1. Identity of aid recipient(s): … 2.1.2. If the legal identity of the aid recipient is different from that of the undertaking(s) that finance(s) the project or the actual beneficiary or beneficiaries of the aid, describe those differences. … … 2.1.3. Please give a clear description of the relationship between the beneficiary, the group of enterprises it belongs to and other associated enterprises, including joint ventures. … … 2.2. The investment project 2.2.1. Please provide the following information on the notified investment project:
2.2.2. If the notification covers an investment in an “a” area or an investment by an one or more SMEs (34) in a “c” area, please specify the category or categories of initial investment concerned by the notification (paragraph 20(h) RAG):
2.2.3. If the notification covers an investment in a “c” area by a Large Enterprise, please specify the category or categories of initial investment concerned by the notification (paragraph 15 and paragraph 20(i) RAG):
2.2.4. Please describe briefly the investment explaining how the project concerned falls within one or more of the categories of initial investment indicated above: … … 2.3. Eligible costs calculated on the basis of investment costs 2.3.1. Please provide the following breakdown of the total eligible investment costs in nominal and discounted value:
2.3.2. Please confirm that the acquired assets are new (paragraph 94 RAG) (39).
2.3.3. Please provide evidence to show that in the case of SMEs not more than 50 % of the costs of preparatory studies or consultancy costs linked to the investment is included in the eligible cost (paragraph 95 RAG). … 2.3.4. Please provide evidence to show that for aid awarded for a fundamental change in the production process, the eligible costs exceed the depreciation of the assets linked to the activity to be modernised in the course of the three preceding fiscal years (paragraph 96 RAG). … 2.3.5. Please provide a reference to the legal basis or explain how it is ensured that for aid awarded for a diversification of an existing establishment, the eligible costs exceed by at least 200 % the book value of the assets that are reused, as registered in the fiscal year preceding the start of works (paragraph 97 RAG). If appropriate, provide documentation containing the relevant quantitative data. … 2.3.6. In cases involving the lease of tangible assets, please provide a reference to the relevant provisions in the legal basis where it is stipulated that the following conditions are respected (paragraph 98 RAG) or explain how respect for those conditions is otherwise achieved.
2.3.7. Paragraph 99 RAG provides that “In the case of acquisition of an establishment only the costs of buying the assets from third parties unrelated to the buyer should be taken into consideration. The transaction must take place under market conditions. Where aid has already been granted for the acquisition of assets prior to their purchase, the costs of those assets should be deducted from the eligible costs related to the acquisition of an establishment. If the acquisition of an establishment is accompanied by an additional investment eligible for aid, the eligible costs of this latter investment should be added to the costs of purchase of the assets of the establishment”. If relevant in the notified case, please explain how those conditions have been complied with, providing relevant supporting documentation. … 2.3.8. If the eligible expenditure for the investment project includes intangible assets, please explain how it is ensured that the conditions set out in paragraphs 101 to 102 RAG (40) will be respected. In such cases please provide a precise reference to the relevant provision in the legal basis. … 2.4. Eligible costs calculated on the basis of wage costs Please:
… 2.5. Calculation of discounted eligible costs and the amount of aid 2.5.1. Please fill in the table in this point with the details of the eligible costs by category of eligible cost to be defrayed over the whole duration of the investment project:
Please indicate the date to which the amounts were discounted, as well as the discount rate used (43): … 2.5.2. Please complete the table in this point with the details of the notified aid (to be) granted for the investment project by reference to the applicable form of aid:
Please indicate the date to which the amounts were discounted, as well as the discount rate used: … For each form of aid mentioned in the table in point 2.5.2 please indicate how the grant equivalent is calculated:
2.5.3. Please specify whether any of the aid measures to be granted to the project are not yet defined, and explain how the granting authority will ensure that the applicable maximum aid intensity is respected (paragraphs 82 and 83 RAG): … 2.5.4. Is the project co-financed by the ESI Funds? If so, please explain under which operational programme the ESI Funds finance will be obtained. Please also indicate the amount of ESI Fund finance that will be involved. … 2.5.5. If the beneficiary (at group level) has received aid for one (or more) initial investment(s) started in the same NUTS 3 region over a period of three years from the date of start of works of the notified investment project (paragraph 20(t) RAG), please provide details of the aid measures for each of the previous aided initial investments (including a short description of the investment project, the date of aid application, the date of the aid award, the date of start of works, the aid amount(s) and the eligible costs (45)).
2.5.6. Please confirm that the total amount of aid that will be granted to the initial investment project does not exceed the “maximum aid intensity” (as defined in paragraph 20(m) RAG), taking into account the increased aid intensity for SMEs (as determined in paragraph 177 RAG) and the “adjusted aid amount” (as defined in paragraph 20(c) RAG), where applicable. Please provide the relevant supporting documentation and calculations. … 2.5.7. Where the aid to be granted to the investment project is to be awarded under several regional aid schemes or cumulated with ad hoc aid, please confirm that the maximum permissible aid intensity that may be granted to the project has been calculated in advance by the first granting authority and specify the amount of that maximum aid intensity. Please explain how the aid granting authorities will ensure that that maximum aid intensity will be respected (paragraph 92 RAG). … 2.5.8. If the initial investment is linked to a European Territorial Cooperation (ETC) project please explain with reference to the provisions set out in paragraph 93 RAG how the maximum aid intensity applicable to the project and the different beneficiaries involved are established. … 3. Compatibility assessment of the measure 3.1. Contribution to regional objectives and need for State intervention 3.1.1. Please:
… 3.1.2. Please explain how the aid will contribute to regional development (47). … 3.1.3. If the notification concerns an individual application for aid under a scheme, please explain how the project contributes towards the objective of the scheme and provide relevant supporting documents (paragraph 35 RAG). … 3.1.4. If the notification concerns ad hoc aid, please explain how the project contributes towards the development strategy of the area concerned and provide relevant supporting documents (paragraph 42 RAG). … 3.1.5. Please explain how the provision requiring that the investment will be maintained in the area concerned for at least five years (three years for SMEs) after its completion is implemented (paragraph 36 RAG). Please provide the reference to the relevant provision in the legal basis (e.g. the aid granting contract). … 3.1.6. In cases where the aid is calculated on the basis of wage costs, please explain how the method of implementation of the provision requiring that jobs are created within three years of the investment completion and that each job created by the investment will be maintained within the area for a period of five years (three years for SMEs) from the date the post is first filled is implemented (paragraph 37 RAG). Please provide the reference to the relevant provision in the legal basis (e.g. the aid granting contract). … 3.1.7. Please provide a reference to the legal basis or demonstrate that the recipient(s) has to make a contribution of at least 25 % of the eligible costs, through its own resources or by external financing, in a form that is exempted of any public financial support (48) (paragraph 38 RAG). … 3.1.8. Did you or do you commit to carry out an Environmental Impact Assessment (“EIA”) for the investment (paragraph 39 RAG).
If no, please explain why an EIA is not required for this project. … 3.2. Appropriateness of the measure 3.2.1. If the notification concerns ad hoc aid, please demonstrate how the development of the area concerned is better ensured by such aid than by aid under a scheme or other types of measures (paragraph 55 RAG): … 3.2.2. If the aid is granted in forms that provide a direct pecuniary advantage (49), please demonstrate why other potentially less distortive forms of aid such as repayable advances or forms of aid that are based on debt or equity instruments (50) are not appropriate (paragraph 57 RAG): … 3.3. Incentive effect and proportionality of the measure 3.3.1. Please confirm that works on the notified individual investment started only after submission of the application for the aid (paragraph 64 RAG). Please provide a copy of the aid application sent to the granting authority by the beneficiary and documentary evidence of the date of the start of works. … 3.3.2. Please explain the incentive effect of the aid by describing the counterfactual scenario with reference to one of the two possible scenarios set out in paragraph 61 RAG. … 3.3.3. In Scenario 1 cases (that is to say, investment decisions under paragraph 61 RAG), please provide the following information (or refer to the relevant parts of the submitted counterfactual scenario) (paragraph 104 RAG):
3.3.4. In Scenario 2 cases (that is to say, location decisions under paragraph 61 RAG), please provide the following information (or refer to the relevant parts of the submitted counterfactual scenario) (paragraph 105 RAG):
3.3.5. If the regional aid is awarded through ESI Funds in “a” regions to investments necessary to achieve standards set by Union law, please explain the following (and provide supporting documentation):
… 3.4. Avoidance of negative effects on competition and trade For scenario 1 cases Definition of the relevant market 3.4.1. Please provide the information specified in this point to identify the relevant product market(s) (that is to say, products affected by the change in behaviour of the aid beneficiary) and to identify the competitors and customers/consumers affected (paragraphs 129 and 130 RAG):
3.4.2. Please provide information, and supporting evidence, on the relevant geographic market of the beneficiary: … Market Power (paragraph 115 and paragraph 132(a)RAG) 3.4.3. Please provide the following information on the market position of the beneficiary (over a period of time before receiving the aid and the expected market position after finalising the investment):
3.4.4. Provide an assessment of the structure of the relevant market including, for example, the level of concentration in the market, possible barriers to entry, buyer power and barriers to expansion or exit. Please provide evidence, from an independent third party if possible, to support the conclusions on this point. … Capacity (paragraph 132(a) RAG) 3.4.5. Provide an estimate of the additional production capacity created by the investment (in volume and value terms): … For all cases Manifest negative effects 3.4.6. In Scenario 1 cases, please provide the following information, and supporting evidence, on the relevant product market (54):
In Scenario 2 cases, please indicate whether without aid the investment would have been located in a region with a regional aid intensity which is higher or the same as the target region (paragraph 139 RAG). Please provide supporting evidence. … 3.4.7. Please confirm whether the beneficiary has submitted a statement in which it confirms that, at group level, it has not closed down the same or a similar activity in the EEA in the two years preceding the aid application and does not intend to close down the same or a similar activity elsewhere in the EEA in the two years after the completion of investment (paragraph 23 RAG). If such a statement was provided, please annex a copy of it to the notification, otherwise, please explain why it was not provided. … 3.4.8. If the beneficiary at group level has closed down the same or a similar activity in another area in the EEA in the two years preceding the aid application, or intends to do so in the two years after the completion of investment, and has relocated that activity to the target area, or intends to do so, please explain why it considers that there is no causal link between the aid and the relocation (paragraph 122 RAG). … 3.4.9. Please explain whether the State aid would directly result in a substantial loss of jobs in existing locations within the EEA. If the State aid would result in a substantial loss of jobs in existing locations within the EEA, please indicate their number and the proportion compared to the total employment of the location(s) concerned. … 4. Other information Please provide any other relevant information to assess the notified aid measure under the RAG: … PART III.1.B Supplementary Information Sheet on regional investment aid schemes This supplementary information sheet must be used for the notification of any investment aid schemes covered by the Guidelines on regional State aid 2014-2020 (55) (the “RAG”). 1. Scope 1.1. Reasons for notifying the scheme instead of putting it in place under the General Block Exemption Regulation (“GBER”) (56) or de minimis Regulation (57):
1.2. Scope of the notified scheme 1.2.1. I confirm that the legal basis for the notified scheme foresees an obligation to notify to the Commission individual aid to beneficiaries that have closed down the same or a similar activity (58) in the EEA during the two years preceding the date of applying for aid or at the moment of the aid application have the intention to close down such an activity within a period of two years after the investment to be subsidised is completed (paragraph 23 RAG). Please provide the reference to the relevant provision of the legal basis: … 1.2.2. I confirm that the notified aid scheme provides that no regional investment aid will be granted to categories of companies and sectors listed below. In each case, please list the relevant provision in the legal basis of the scheme.
1.2.3. If the scheme covers investment aid to broadband networks please specify whether each of the following conditions are complied with:
Please provide the reference to the relevant provision of the legal basis: … 1.2.4. If the scheme covers aid to research infrastructures, is the aid made conditional on giving transparent and non-discriminatory access to this infrastructure?
2. Initial investment, eligible costs and aid 2.1. Types of initial investments covered by the scheme 2.1.1. Where the scheme covers investments in “a” areas by SMEs or large enterprises (64) or investments by SME(s) in “c” areas (paragraph 34 RAG), please specify the category or categories of initial investment concerned by the notification (paragraph 20(h) RAG):
2.1.2. In case the scheme covers investments in “c” areas by large enterprises, please specify the category or categories of initial investment concerned by the notification (paragraph 15and paragraph 20(i) RAG):
2.1.3. Please provide the reference to the relevant provisions of the legal basis where it is stipulated that the Commission will be notified of any individual aid to be granted under the legal basis of the scheme to large enterprises in “c” areas for (paragraphs 24 and 34 RAG):
… 2.1.4. Please provide the reference to the relevant provisions of the legal basis where it is stipulated that the Commission will be notified of any individual aid to be granted under the legal basis of the scheme that would lead to the notification threshold being exceeded (67) (paragraph 23 RAG). … 2.2. Eligible costs calculated on the basis of investment costs 2.2.1. Where the eligible expenditure (paragraph 20(x) RAG) under the scheme relates to tangible assets, is the value of the investment established as a percentage on the basis of land, buildings and plant, machinery and equipment? (68):
Please provide the reference to the relevant parts of the legal basis: … 2.2.2. Please provide a reference to the relevant provision of the legal basis which stipulate that the acquired assets should be new (69) (paragraph 94 RAG) … … 2.2.3. Please provide a reference to the relevant provision in the legal basis which stipulate that in the case of SMEs not more than 50 % of the costs of preparatory studies or consultancy costs linked to the investment can be considered as eligible costs (paragraph 95 RAG). … … 2.2.4. Please provide a reference to the relevant provision of the legal basis which stipulates that for aid awarded for a fundamental change in the production process, the eligible costs exceed the depreciation of the assets linked to the activity to be modernised in the course of the preceding three fiscal years (paragraph 96 RAG). … … 2.2.5. Please provide a reference to the relevant provision of the legal basis which stipulates that for aid awarded for a diversification of an existing establishment, the eligible costs exceed by at least 200 % the book value of the assets that are reused, as registered in the fiscal year preceding the start of works (paragraph 97 RAG). … … 2.2.6. In cases involving the lease of tangible assets, please provide a reference to the relevant provisions of the legal basis which stipulate that the following conditions should be respected (paragraph 98 RAG):
2.2.7. Paragraph 99 RAG provides that “In the case of acquisition of an establishment only the costs of buying the assets from third parties unrelated to the buyer should be taken into consideration. The transaction must take place under market conditions. Where aid has already been granted for the acquisition of assets prior to their purchase, the costs of those assets should be deducted from the eligible costs related to the acquisition of an establishment. If the acquisition of an establishment is accompanied by an additional investment eligible for aid, the eligible costs of this latter investment should be added to the costs of purchase of the assets of the establishment”. If relevant for the notified scheme, please provide a reference to the provisions of the legal basis which stipulate that the conditions in this point should be respected. … 2.2.8. Where the eligible expenditure under the scheme relates to intangible assets (paragraph 20(j) RAG), is the value of the investment established on the basis of expenditure entailed by the transfer of technology through the acquisition of patent rights, licences, know-how or unpatented technical knowledge?
Please provide the reference to the relevant parts of the legal basis: … 2.2.9. Please provide a reference to the relevant provisions of the legal basis which stipulate that for large undertakings the expenditure on eligible intangible investment must not exceed 50 % of the total eligible investment costs of the project (paragraph 100 RAG). … 2.2.10. Please provide a reference to the relevant provisions of the legal basis which stipulate that the conditions set out in paragraphs 101 and 102 RAG (70) should be respected. … 2.3. Eligible costs calculated on the basis of wage costs Please provide a reference to the relevant provisions of the legal basis where it is stipulated how the eligible costs calculated on the basis of wage costs should be established (paragraph 103 RAG), how the number of jobs created should be calculated with reference to paragraph 20(k) RAG and how the wage costs of the persons hired should be established with reference to paragraph 20(z) RAG. … 2.4. Calculation of discounted eligible costs 2.4.1. Please indicate which forms of aid are allowed under the scheme:
2.4.2. Is the aid scheme eligible to be co-financed by the ESI Funds? If so, please mention under which operational programmes the ESI Funds finance might be obtained. Please also indicate the amount of ESI Funds finance that will be involved, if known at this stage. … 2.4.3. Please provide the reference to the relevant provisions of the legal basis which stipulate that the aid granting authority should establish before granting individual aid under the notified scheme whether the beneficiary (at group level) received aid for one (or more) initial investment(s) started in the same NUTS 3 region in a period of three years from the date of start of works on the investment project. … 2.4.4. Please provide the reference to the relevant provisions of the legal basis which stipulate that the total amount of aid that will be granted under the scheme to any initial investment project does not exceed the “maximum aid intensity” (as defined in paragraph 20(m) RAG), taking into account the increased aid intensity for SMEs (as determined in paragraph 177 RAG) or the “adjusted aid amount” (as defined in paragraph 20(c) RAG), where applicable. … 2.4.5. Please provide the reference to the relevant provisions of the legal basis which stipulate that where individual aid is awarded under several regional aid schemes or cumulated with ad hoc aid, the maximum permissible aid intensity that may be granted to the project will be calculated in advance by the first granting authority (paragraph 92 RAG) … 2.4.6. Where the aid scheme allows for aid to initial investment linked to European Territorial Cooperation (ETC) projects please provide the reference to the relevant provisions of the legal basis which stipulate (with reference to the provisions set out in paragraph 93 RAG) how the maximum aid intensity applicable to the project and the different beneficiaries involved will be established. … 3. Compatibility assessment of the aid scheme 3.1. Contribution to regional objective and need for State intervention Is the scheme part of an Operational Programme (71) (paragraph 32 RAG)?
3.1.1. Please provide the reference to the relevant provisions of the legal basis containing the requirement to carry out an Environmental Impact Assessment (“EIA”) for the investments concerned before granting aid to individual projects, when so required by law (paragraph 39 RAG). … 3.1.2. Please explain how the granting authorities will prioritise and select the investment projects according to the objectives of the scheme (for example, on the basis of a formal scoring approach) (paragraph 33 RAG). Please also provide the reference to the relevant provisions of the legal basis or other related administrative acts. … 3.1.3. Please explain how, when awarding aid to individual investment projects under the notified scheme, the aid granting authority will establish that the selected project(s) contributes towards the objective of the scheme and thus towards the development strategy of the area concerned (paragraph 35 RAG). … 3.1.4. Please explain how the provision requiring that any investment supported under the notified scheme will be maintained in the area concerned for at least five years (three years for SMEs) after its completion is implemented (paragraph 36 RAG). Please provide the reference to the relevant provisions in the legal basis. … 3.1.5. In cases where the aid granted under the notified scheme is calculated on the basis of wage costs, please explain the method of implementation of the provision requiring that jobs are created within three years of the investment completion and that each job created by the investment concerned is maintained within the area for a period of five years (three years for SMEs) from the date the post is first filled (paragraph 37 RAG). Please provide the reference to the relevant provision in the legal basis. … 3.1.6. Please provide a reference to the relevant provisions of the legal basis where it is stipulated that recipients have to make a contribution of at least 25 % of the eligible costs, through their own resources or by external financing, in a form that is exempted of any public financial support (72) (paragraph 38 RAG). … 3.1.7. Please provide a reference to the relevant provisions of the legal basis showing that the scheme should respect the ceilings of the regional aid map applicable at the time of awarding the aid (paragraph 81 RAG). Please also provide the reference to the Commission decision approving the regional aid map concerned. … 3.2. Appropriateness of the scheme 3.2.1. If the scheme is not eligible under an Operational Programme, please explain why regional aid is an appropriate instrument to tackle the common objective of equity or cohesion (73) (paragraph 52 RAG): … 3.2.2. Where the scheme is sector-specific and is not eligible for co-financing by Structural Funds, please demonstrate the advantages of such an instrument compared to a multi-sectoral scheme or other policy options (paragraph 53 RAG): … 3.2.3. Will individual aid under the notified scheme be granted:
Please provide the reference to the relevant provision of the legal basis: … If aid is to be granted on a discretionary basis, please provide a short description of the criteria used and attach a copy of the internal administrative provisions of the granting authority applicable for the awarding of aid: … 3.2.4. If the aid under the scheme is granted in forms that provide a direct pecuniary advantage (74), please demonstrate why other potentially less distortive forms of aid such as repayable advances or forms of aid that are based on debt or equity instruments (75) are not appropriate (paragraph 57 RAG): … 3.3. Incentive effect and proportionality of the scheme 3.3.1. Please provide the reference to the relevant provisions of the legal basis stipulating that any application for aid must be submitted before work is started on the investment project concerned (paragraph 64 RAG): … 3.3.2. Please provide the reference to the relevant provisions of the legal basis which stipulate that those applying for aid under the notified scheme will be obliged to submit a standard application form provided by the aid granting authority in which they must explain counterfactually what would happen if they do not receive the aid and indicate which of the scenarios (Scenario 1 — investment decision or Scenario 2 — location decision) applies (paragraph 66 and paragraph 61 RAG). If that application form differs from the example provided in Annex V to the RAG, please provide a copy of that application. … 3.3.3. Please provide the reference to the relevant provisions of the legal basis which stipulate that large enterprises who apply for aid under the notified scheme are required to provide documentary evidence in support of the counterfactual described. (paragraph 67 RAG). Please also explain what type of documents will be required. … 3.3.4. Please provide the reference to the relevant provisions of the legal basis which stipulate that when assessing individual aid applications the aid granting authority is obliged to carry out a credibility check of the counterfactual provided and to verify that regional aid has the required incentive effect corresponding to Scenario 1 or Scenario 2 (76) (paragraph 68 RAG). … 3.3.5. Please provide the reference to the relevant provisions of the legal basis which stipulate that individual aid granted to large enterprises under the notified scheme will be limited to the net extra costs of implementing the investment in the area concerned compared to the counterfactual in the absence of aid, using the method explained in paragraph 79 and paragraph 80 RAG (paragraph 88 RAG). … 3.4. Avoidance of undue negative effects on competition and trade 3.4.1. Please explain how the distortions of competition and trade caused by the notified aid scheme will be limited to the minimum (paragraph 125 RAG) (77): … 3.4.2. Please provide references to the relevant provisions in the legal basis stipulating that when awarding aid under the scheme to individual projects, the granting authority must verify and confirm that without aid the investment would not have been located in a region with a regional aid intensity which is higher or the same as the target region (paragraph 126 RAG). … 3.4.3. Please provide references to the relevant provisions in the legal basis which stipulate that when awarding aid under the scheme to individual projects, the granting authority must notify individual aid grants in cases where the beneficiary has closed down the same or a similar activity in another area in the EEA in the two years preceding the date of applying for aid or at the moment of the aid application has the intention to close down such an activity within a period of two years after the investment to be subsidised is completed (paragraph 122 RAG). … 4. Other information Please provide any other information that is of relevance to assess the notified aid measure under the RAG: … PART III.1.C Supplementary Information Sheet on regional operating aid schemes This supplementary information sheet must be used for the notification of any operating aid schemes covered by the Guidelines on regional State aid 2014-2020 (78) (the “RAG”). 1. Scope
2. Basic elements of the scheme 2.1. Please provide a description of the main elements of the scheme and its objectives: … 2.2. Please indicate which forms of aid are allowed under the scheme:
2.3. The individual aid under the notified scheme will be granted:
Should the aid be granted on a case by case basis, please provide a short description of the criteria that will be applied. If administrative guidance for the assessment of the aid application exists, please attach a copy: … 2.4. Will the aid scheme be co-financed by the ESI Funds? If so, please explain under which operational programmes ESI Funds finance will be obtained. Please also indicate the amount of ESI Funds finance that will be involved. … 3. Compatibility of the aid 3.1. Contribution to regional objective and incentive effect: For aid to reduce certain specific difficulties faced by SMEs (82) in “a” areas 3.1.1. Please list the specific difficulties faced by SMEs in the region concerned to be addressed by the scheme (paragraph 43 RAG) and demonstrate the existence and importance of those difficulties (paragraph 44 RAG). … 3.1.2. Please explain why the difficulties listed in point 3.1.1 cannot be overcome by investment aid and thus the notified operating aid scheme is needed (paragraph 44 RAG): … For aid to compensate certain additional costs in the outermost regions 3.1.3. Please identify the specific additional costs (83) that will be compensated under the scheme and demonstrate how those costs are related to the permanent handicaps set out in Article 349 TFEU (paragraph 45 RAG): … For aid to reduce depopulation in very sparsely populated areas 3.1.4. Please demonstrate the risk of depopulation of the relevant area in the absence of operating aid (paragraph 46 RAG): … 3.2. Appropriateness of the scheme Please indicate why the aid proposed is considered appropriate to achieve the objective of the scheme. Please explain in particular why other less distortive policy instruments and other less distortive types of aid instrument are not appropriate to achieve the same positive contribution to regional development (paragraphs 50, 56, 57 and 58 RAG): … 3.3. Proportionality of the scheme For all types of operating aid 3.3.1. Please determine the eligible costs that are fully attributable to the problems the aid is intended to address (paragraph 109 RAG): … 3.3.2. Please confirm that depreciation charges and the costs of financing included in the eligible costs relevant to regional investment aid will not be included in the eligible costs for operating aid (paragraph 109 RAG), and provide the reference to the relevant provision of the legal basis: … 3.3.3. Please describe the compensation model (paragraph 56 RAG) that will be adopted and how that model will allow an appropriate calculation of the aid amount, ensuring that there is no overcompensation, as defined in paragraph 109 RAG: … 3.3.4. Please indicate whether operating aid is also granted through other operating aid schemes in the region, by mentioning the relevant State aid reference of those schemes. … 3.3.5. In case other operating aid schemes are applicable in the same region, please explain how it is ensured that operating aid granted under different operating aid schemes does not lead to overcompensation: … For operating aid in outermost regions only 3.3.6. Please demonstrate that the additional costs to be compensated under the notified scheme will be quantified in relation to the level of costs incurred by similar undertakings established in other regions of the Member State concerned (paragraph 110 RAG): … For operating aid to reduce certain specific difficulties faced by SMEs in certain “a” areas only 3.3.7. Please explain how the level of aid will be progressively reduced over the duration of the scheme (paragraph 111 RAG) and provide the reference to the relevant provision of the legal basis: … 3.4. Avoidance of undue negative effects on competition and trade Please explain why it is unlikely that the aid granted under the scheme will create very significant distortions of competition in the market (paragraph 140 RAG): … 4. Other information Please provide any other information that is of relevance to assess the notified aid measure under the RAG: … PART III.2 Supplementary information sheet for research and development and innovation aid This supplementary information sheet must be used for the notification of any aid measures (aid schemes and individual aid) covered by the Framework for state aid for research and development and innovation (“the R & D&I Framework”) (84). In case there are several beneficiaries involved in an individual aid measure, the relevant information must be provided for each of them. 1. Characteristics of the notified aid measure 1.1. Aid schemes
1.2. Individual aid
1.3. General information
2. Research organisations and research infrastructures
3. Indirect state aid to undertakings through research organisations and research infrastructures 3.1. Research on behalf of undertakings
3.2. Collaboration with undertakings
4. Public procurement of research and development services
5. Description of the notified aid measure 5.1. Aid for R & D projects
5.2. Aid for feasibility studies
5.3. Aid for the construction and upgrade of research infrastructures
5.4. Innovation aid for SMEs
5.5. Aid for process and organisational innovation
5.6. Aid for innovation clusters
5.6.1. Investment aid
5.6.2. Operating aid
6. Compatibility assessment of the notified aid measure For individual aid, please provide a comprehensive description of the aided project or activity: … … 6.1. Contribution to a well-defined objective of common interest
6.2. Need for State intervention
6.2.1. Individual aid
6.3. Appropriateness of the aid measure
6.4. Incentive effect
6.4.1. Individual aid
6.5. Proportionality of the aid
6.5.1. Individual aid
6.6. Avoidance of undue negative effects on competition and trade Please indicate whether:
If the answer to any of the questions in this section is yes, please provide details: … … 6.6.1. Aid scheme For aid schemes, please indicate how it will be ensured that any negative effects will be limited to the minimum (taking account, for example, of the size of the projects concerned, the individual and cumulative aid amounts, the number of expected beneficiaries and the characteristics of the targeted sectors) and provide any impact assessment or ex-post evaluations carried out for similar predecessor schemes: … … 6.6.2. Individual aid
7. Other information Please provide any other information that would be of relevance to assess the notified aid measure under the R & D&I Framework: … … PART III.3.A Supplementary information sheet on aid for rescuing non-financial undertakings in difficulty: individual aid This supplementary information sheet must be filled in for the notification of individual rescue aid covered by the Guidelines on State aid for rescuing and restructuring non-financial undertakings in difficulty (91) (“Guidelines”). 1. Eligibility 1.1. Undertaking in difficulty
1.2. An undertaking facing acute liquidity needs: If you consider that the beneficiary is eligible for rescue aid even though it does not qualify as an undertaking in difficulty, please explain why you consider that it faces acute liquidity needs due to exceptional and unforeseen circumstances and include reference to the supporting evidence or documents (e.g. cash flow projections). 1.3. Newly created undertaking/larger business group:
1.4. Sectoral scope: Is the undertaking active in:
2. Compatibility with the internal market 2.1. Contribution to an objective of common interest:
2.2. Appropriateness/Form of aid
2.3. Proportionality of the aid/aid limited to the minimum Is the amount of the rescue aid determined in accordance with the formula set out in Annex I to the Guidelines?
If so, please provide the calculation of the amount of the rescue aid in accordance with the formula. If the amount of the rescue aid exceeds the result of calculations on the basis of the formula set out in Annex I to the Guidelines, please provide a duly justified liquidity plan setting out the beneficiary's liquidity needs for the coming six months. … … 2.4. Negative effects — “One time, last time” principle Has the undertaking (or the group to which it belongs) already received in the past any rescue aid, restructuring aid or temporary restructuring support (99) and/or any non-notified aid?
If so, please provide full details (date, amount, reference to previous Commission decision if applicable, etc.) (100). … … 3. Other information Please indicate here any other information you consider relevant for the assessment of the measure(s) concerned under the Guidelines: … … PART III.3.B Supplementary information sheet on aid for restructuring non-financial undertakings in difficulty: individual aid This supplementary information sheet must be filled in for the notification of individual restructuring aid covered by the Guidelines on State aid for rescuing and restructuring non-financial undertakings in difficulty (101) (“Guidelines”). 1. Eligibility 1.1. Undertaking in difficulty
1.2. Newly created undertaking or larger business group
1.3. Sectoral scope Is the undertaking active in:
1.4. SGEI provider:
2. Compatibility with the internal market 2.1. Contribution to an objective of common interest:
2.2. Restructuring plan and return to long-term viability Please provide the restructuring plan (108) aiming at restoring the long-term viability (109) of the beneficiary within a reasonable timescale together with a market survey and a sensitivity analysis identifying the driving parameters of the beneficiary's performance and the main risk factors going forward (please follow as much as possible the indicative restructuring plan set out in Annex II to the Guidelines). 3. Need for State intervention/incentive effect 3.1. Please provide a comparison between the measures set out in the restructuring plan and a credible alternative scenario not involving State aid (110) demonstrating that in such an alternative scenario the relevant objective or objectives that you have identified in section 2.1 would not be attained, or would be attained to a lesser degree. 3.2. Please demonstrate that in the absence of the aid, the beneficiary would have been restructured, sold or wound up in a way that would not have achieved the objective of common interest identified in section 2.1. 4. Appropriateness 4.1. Please provide a short description of the State aid instruments chosen, including the form, amount and remuneration (111): … … 4.2. Please explain whether the problems of the beneficiary are caused by liquidity and/or solvency issues, or by both: … … 4.3. Please demonstrate that the State aid instruments chosen are appropriate to address the problems identified in point 4.2 (that is to say liquidity or solvency issues). … … 5. Proportionality of the aid/aid limited to the minimum 5.1. Own contribution
5.2. Burden-sharing To be completed if the State aid is granted in a form that enhances the beneficiary's equity position (114)
6. Negative effects 6.1. “One time, last time” principle Has the undertaking (or the group to which it belongs) already received any rescue aid, restructuring aid or temporary restructuring support (115) and/or any non-notified aid?
If yes, please provide full details (date, amount, reference to previous Commission decision if applicable, etc.) (116): … … 6.2. Measures to limit distortions of competition: Structural measures — divestments and reduction of business activities
Behavioural measures
Market opening measures
Calibration of measures to limit distortions of competition
7. Other information 7.1. Please indicate here any other information you consider relevant for the assessment of the measure(s) concerned under the Guidelines (e.g. as regards measures to increase employability of redundant workers or assistance with finding new employment): … … PART III.3.C Supplementary information sheet on rescue aid, restructuring aid and/or temporary restructuring support: aid schemes This supplementary information sheet must be filled with regard to rescue aid, restructuring aid and temporary restructuring support schemes covered by the Guidelines on State aid for rescuing and restructuring non-financial undertakings in difficulty (120) (“Guidelines”). 1. Scope of the scheme 1.1. Does the scheme concern provision of:
2. Eligibility 2.1. Is the scheme limited to SMEs (121) in difficulty or smaller State-owned undertakings in difficulty (122) (unless clearly indicated otherwise hereafter together referred as “SMEs”)?
2.2. Is the scheme limited to SMEs that fulfil one of the following eligibility criteria:
2.3. Does the scheme foresee that rescue aid or temporary restructuring support, or both, can be granted to SMEs that do not qualify as undertakings in difficulty but are merely facing acute liquidity needs due to exceptional and unforeseen circumstances?
2.4. If the answer to point 2.3 is yes, please explain how it will be assessed whether an SME faces acute liquidity needs and which kinds of circumstances are qualified as exceptional and unforeseen. … … 2.5. Does the scheme apply to newly-created SMEs?
2.6. Does the scheme apply to SMEs active in:
3. Maximum amount of aid 3.1. Is the maximum total amount of aid to be granted to any one SME under the scheme limited to a maximum of EUR 10 million, including any aid obtained from other sources or under other schemes?
3.2. Please indicate the maximum amount of aid to be granted to an SME under the scheme: … … 4. Compatibility with the internal market In the case of rescue, restructuring aid and temporary restructuring support 4.1. Contribution to an objective of common interest:
In the case of restructuring aid 4.2. Restructuring plan and return to long-term viability In relation to the grant of restructuring aid, does the scheme require the provision of a restructuring plan (129) aiming at restoring the long-term viability (130) of the beneficiary within a reasonable timescale (please see an indicative restructuring plan in Annex II to the Guidelines)?
5. Need for State intervention and incentive effect 5.1. In relation to the grant of restructuring aid, does the scheme require that the national authorities compare the measures set out in the restructuring plan with a credible alternative scenario not involving State aid (131) demonstrating that in such an alternative scenario the relevant objective or objectives of common interest, as described in section 4.1 above, would not be attained, or would be attained to a lesser degree? In particular, does the scheme require a demonstration that in the absence of the aid, the beneficiary would have been restructured, sold or wound up in a way that would not have achieved the objective or objectives of common interest, as described in section 4.1 above?
5.2. If the answer to point 5.1 is yes, please explain according to which criteria the national authorities will assess it. … … 6. Appropriateness In the case of rescue aid 6.1. Is the aid granted under the scheme restricted to loan guarantees or loans?
6.2. Does the scheme require that the financial cost of the loan (or, in the case of loan guarantees, the total financial cost of the guaranteed loan, including the interest rate of the loan and the guarantee premium) is set at a rate not lower than the reference rate set out by the Commission in its Reference Rate Communication (132) for weak undertakings offering normal levels of collateralisation?
6.3. Does the scheme provide that rescue aid is granted for no longer than six months, during which an analysis must be made of the beneficiary's position?
6.4. Does the scheme provide that, within six months after granting the rescue aid, the loan will be reimbursed or the guarantee terminated, unless before that time either: (a) the national authorities have approved a restructuring plan, or liquidation plan, or (b) the beneficiary has submitted a simplified restructuring plan (133) (in case of temporary restructuring support)?
6.5. Does the scheme provide that the rescue aid must not be used to finance structural measures, such as acquisition of significant businesses or assets, other than those required during the rescue period for the survival of the beneficiary?
In the case of restructuring aid 6.6. Please explain on basis of which criteria the national authorities will assess to what extent the problems of the beneficiary relate to liquidity or solvency or both, and how they will select the State aid instruments which will address the problems identified in the most appropriate way: … … In the case of temporary restructuring support 6.7. Is the temporary restructuring support to be granted under the scheme restricted to loan guarantees or loans?
6.8. Does the scheme require that the financial cost of the loan (or, in the case of loan guarantees, the total financial cost of the guaranteed loan, including the interest rate of the loan and the guarantee premium) be set at a rate not lower than the reference rate set out by the Commission in its Reference Rate Communication for weak undertakings offering normal levels of collateralisation?
6.9. Does the scheme require that the remuneration for the temporary restructuring support be increased by at least 50 basis points 12 months after the disbursement of the first instalment to the beneficiary (less any immediately preceding period of rescue aid)?
6.10. Does the scheme provide that temporary restructuring support be granted for no longer than 18 months, less any immediately preceding period of rescue aid?
6.11. Does the scheme provide that not later than six months after disbursement of the first instalment of the temporary restructuring support to the beneficiary, less any immediately preceding period of rescue aid, the national authorities will approve a simplified restructuring plan?
6.12. Does the scheme provide that within 18 months from the date of granting of the temporary restructuring support, less any immediately preceding period of rescue aid, the loan will be reimbursed or the guarantee terminated, unless before that time a restructuring plan or liquidation plan of the beneficiary has been approved by the national authorities?
7. Proportionality of the aid or aid limited to the minimum In the case of rescue aid and temporary restructuring support 7.1. Amount of aid
In the case of restructuring aid 7.2. Own contribution
7.3. Burden-sharing To be completed if the scheme provides that the State aid can be granted in a form enhancing the beneficiary's equity position (135):
8. Negative effects 8.1. “One time, last time” principle: Does the scheme exclude (136) the provision of aid to any SME which has received rescue aid, restructuring aid or temporary restructuring support in the past (137) and/or any non-notified aid?
In the case of restructuring aid 8.2. Measures to limit distortions of competition (138): Structural measures — divestments and reduction of business activities
Behavioural measures
Market opening measures
9. General 9.1. Does the scheme apply to SMEs in an assisted area?
9.2. Do specific provisions apply to SMEs in assisted areas under the scheme?
9.3. If the answer to point 9.2 is yes, please explain which specific provisions apply and why they are justified. … … 9.4. Do the national authorities intend to accept a contribution which constitutes less than 40 % of the restructuring costs in the case of medium-sized enterprises or less than 25 % of the restructuring costs in the case of small enterprises?
9.5. If the answer to point 9.4 is yes, please explain how the national authorities will apply the requirements concerning the measures to limit distortions of competition in order to limit the negative systematic impacts for the region: … … 10. Other information Please provide any other information that would be of relevance to assess the notified aid measure under the Guidelines (e.g. as regards measures to increase employability of redundant workers or assistance with finding new employment): … PART III.4 Supplementary Information Sheet on aid for films and other audiovisual works This supplementary information sheet must be used for notifications of aid covered by the Commission Communication on State aid for films and other audiovisual works (143) 1. Characteristics of the notified aid measure(s) 1.1. Please describe as accurately as possible the purpose of the aid, where appropriate, for each measure: … … 1.2. Please describe the scope of each measure, in terms of: 1.2.1. the type of activities covered (e.g. development, production, distribution): … … 1.2.2. the type of works covered (e.g. cinematographic works, television series, transmedia projects): … … 1.3. If the aid scheme includes a support measure for transmedia projects, do the aided activities directly relate to the film production component of the work?
1.4. Please indicate what provisions exist to guarantee the cultural objective of the aid: … … 2. Conditions for eligibility 2.1. Please indicate the conditions for eligibility of activities or works under the planned aid measure: … … 2.2. Please indicate the conditions for eligibility of beneficiaries under the planned aid measure:
3. Territorial spending obligations 3.1. Please indicate whether the measure includes provisions requiring the producer to spend the production budget, or parts of it, in the territory of the Member State or in one of its subdivisions: 3.1.1. In order to be eligible for aid?
3.1.2. As a condition attached to the granting of the aid?
3.2. Do the conditions of territorial spending apply to certain specific items of the production budget? … … 3.3. If it is necessary to comply with a minimum degree of territorial spending in order to be eligible for the aid, please describe the nature of the requirements: 3.3.1. Of implicit nature (e.g. a minimum number of days shooting the production in the territory): … … 3.3.2. Of explicit nature (e.g. a minimum amount or percentage of expenditure): … … 3.4. In case there are territorial conditions attached to the granting of the aid, please explain: 3.4.1. Is the aid calculated as a percentage of territorial expenditure? … … 3.4.2. Is the required territorial spending calculated with regard to the overall budget of the film? … … 3.4.3. Is the required territorial spending calculated with regard to the amount of aid granted? … … 4. Eligible costs Please specify the costs which may be taken into account to determine the amount of aid. … … 5. Aid intensity 5.1. Please indicate whether the scheme allows for aid intensities exceeding 50 % of the production budget? If so, please clarify the types of works concerned and the aid intensity limits set. … … 5.2. If the concept of “difficult audiovisual works” is used, please indicate the categories of works covered by this concept (that is to say, please indicate the definition used). … … 5.3. If scriptwriting or development is aided under the scheme: are the costs of scriptwriting and development included in the production budget and taken into account for calculating the aid intensity of the audiovisual work? … … 5.4. If distribution and promotion activities are supported under the scheme: what are the aid intensities allowed under the scheme? … … 6. Film heritage If applicable, please provide information on the measures taken with regard to film heritage. … … 7. Compatibility 7.1. Please provide a reasoned justification in support of compatibility of the aid in the light of the principles set out in the Commission Communication on State aid for films and other audiovisual works. … … 7.2. If the scheme concerns aid to cinemas, please provide a reasoned justification in support of the compatibility of the aid as aid to promote culture within the meaning of Article 107(3)(d) TFEU, in particular the necessity, adequacy and proportionality of the aid. … … 8. Other Information Please indicate here any other information you consider relevant to the assessment of the measure(s) concerned under the Communication on State aid for films and other audiovisual works. … PART III.5 Supplementary Information Sheet on State aid to broadband This supplementary information sheet should be used for notifications of aid covered by the EU Guidelines for the application of State aid rules in relation to rapid deployment of broadband networks (144) (“Broadband Guidelines”). 1. Characteristics of the notified aid measure 1.1. Please describe the objective of the aid measure: … … 1.2. Please explain how the aid measure fits with the national broadband strategy and the Union objectives (including for the EU 2020 strategy and the Digital Agenda (145)). … … 1.3. Please present the rationale for public intervention and explain the anticipated benefits of the aid measure (e.g. economic and social benefits, increased broadband coverage and internet penetration rates, etc.). … … 1.4. What category of network does the aid measure aim to support?
1.5. What elements of the network does the aid measure aim to support?
1.6. What type of broadband networks does the aid measure aim to support?
1.7. What types of areas are targeted by the aid measure? Classify targeted areas with respect to the different segment and type of network supported and substantiate the classification on the basis of verifiable data.
1.8. Please provide any other relevant information useful to clarify the general context of the aid measure: … … 1.9. What type of investment and business model will be adopted (148)? … … 2. Process and granting of the aid measure Mapping, coverage analysis 2.1. What is the scope of the aid measure in terms of territorial coverage? 2.2. Please provide information, including the date, and submit the results of the detailed mapping and coverage analysis undertaken to clearly identify the target areas: … … Public consultation 2.3. Please describe the process and the results of the open transparent public consultation giving the opportunity to all interested stakeholders to comment on the planned aid measure. Please submit the relevant internet links on which the information about the measure has been published: … … Competitive selection procedure 2.4. In case of deployment and/or operation of the subsidised network by a third-party operator, please confirm that a competitive selection procedure will be conducted in line with the EU Public Procurement Directives (149). Please provide all relevant information in that respect: … … 2.5. Please provide information on how the most economically advantageous offer is to be selected (including the award criteria and the relative weighting which is given to each of the criteria chosen) taking into account qualitative criteria (for instance, coverage, sustainability of the technological approach or the impact of the solution on competition) and price: … … 2.6. Are there are any minimum service requirements that the subsidised network has to comply with (such as minimum bandwidth, sustained services, minimum geographical coverage, etc.)?
2.7. If yes, please describe: … … Technological neutrality 2.8. Is the aid measure technologically neutral?
2.9. If the answer to point 2.8 is yes, please describe how that principle is ensured: … … Use of existing infrastructure 2.10. Please submit a map depicting the existing infrastructures in place in the country or region concerned, including also any new infrastructure(s) planned by commercial operators in the near future, that is to say within a three year period: … … 2.11. Please explain how it is ensured that the operators wishing to participate in the selection procedure provide all relevant information on any existing infrastructure they own or control in the target area: … … Wholesale access 2.12. Please explain what type of “wholesale access” obligations will be imposed on the subsidised network (including access to passive and active infrastructure, the right to use ducts and poles, dark fibre and street cabinets), and how long the access obligations will be maintained: … … Wholesale access pricing 2.13. Please explain how access prices will be benchmarked: … … Claw-back and monitoring mechanism 2.14. Will a claw-back mechanism apply to the aid measure?
2.15. If the answer to point 2.14 is yes, please describe this mechanism, its characteristics and duration: … … 2.16. Please explain how the monitoring of the aid measure will be organised:
National regulatory authority (“NRA”) 2.17. Please describe the role of the NRA in particular regarding: identification of target areas, wholesale access pricing including benchmarking, dispute resolution, etc.: … … 2.18. Please report the position of the NRA on the proposed aid intervention and, where available, the opinion of the national competition authority: … … 3. Compatibility criteria Please explain how the notified aid measure complies with the conditions specified in Section 2.5 of the Broadband Guidelines, in particular with regard to: … … Objective of common interest
Market failure
Appropriate instrument
Incentive effect
Step Change
Proportionality
Distortion of competition and effect on trade
4. Other information Please indicate here any other information you consider relevant to the assessment of the measure concerned under the Broadband Guidelines or any other information that is relevant from the point of view of Union competition and internal market rules (151). … PART III.6 Supplementary information sheet for State aid for environmental protection and energy This supplementary information sheet must be used for the notification of any aid covered by the Guidelines on State aid for environmental protection and energy 2014–2020 (hereinafter “the EEAG”) (152). All documents provided by Member States as annexes to the notification form must be numbered and document numbers must be indicated in the relevant sections of this supplementary information sheet. If there are several beneficiaries involved in an individual aid measure, the relevant information must be provided for each of them. This supplementary information form is to be filled in in addition to the “Part I. General information” form. Scope General Block Exemption Regulation Before completing this notification form you should consider whether this measure could be implemented under Commission Regulation (EU) No 651/2014 (the General Block Exemption Regulation (“the GBER”) (153), and in particular section 7 of chapter III thereof (Aid for environmental protection). Could the aid be implemented under the GBER?
If the aid could be implemented under the GBER, please explain why the measure is notified. … … De minimis Regulation Before completing this notification form you should consider whether this measure could be implemented under the de minimis Regulation (154): Could the aid be implemented under the de minimis Regulation?
If the aid could be implemented under the de minimis Regulation, please explain why the measure is notified. … … This form should only be completed for notification of State aid which is intended to be implemented under the EEAG. Please fill in the relevant parts of the notification form corresponding to the character of the notified measure. Section A: General information on environmental and energy aid measures
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